Dean B. Collins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dean Baxter Collins, who also goes by Dean B Collins, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1976. Dean had worked at 6 firms and has passed the Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2008 - July 7, 2021
UBS FINANCIAL SERVICES INC.
November 28, 2008 - July 7, 2021
UBS FINANCIAL SERVICES INC.
April 24, 2008 - December 15, 2008
CITIGROUP GLOBAL MARKETS INC.
August 1, 2001 - December 15, 2008
CITIGROUP GLOBAL MARKETS INC.
July 20, 1990 - July 30, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1988 - August 9, 1990
LEHMAN BROTHERS INC.
June 29, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 8, 1980 - July 9, 1987
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - September 11, 1980
UBS FINANCIAL SERVICES INC.
January 27, 1976 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 3/31/1981
AMEX Put and Call ExamCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
